A Journey of 1,000 Miles Begins With the Current Step, Not the Next One
In business, in a relationship or in any big project, you have to focus here before you focus there.
Full Article New York Times
Practice Areas
Arbitration, Litigation, Mediation
With 30 years of experience as a securities lawyer, Mark knows knows what it takes to effectively, and efficiently, handle litigation matters - when to settle, and when to take the case to a final hearing. Mark has litigated virtually every securities law claim imaginable and can effectively guide you through the process.
Investigations, Audits and Exams
Defense of SEC and FINRA investigations, routine exams, 8210 requests, OTRs and Wells Notices are the main stay of Mark's practice. From customer complaints to insider trading investigations, his experience in these proceedings, as well as in the practical aspects of operating a broker-dealer, can provide the experience that you need.
Securities Employment Issues
Representation of broker-dealers, investment advisers in all employment related issues, including employment agreements, separation agreements, litigation, promissory notes, and all aspects of the relationship.
Recent Posts
SEC and FINRA to Hold National Compliance Outreach Program for Broker-Dealers on June 27, 2019
The Securities and Exchange Commission (SEC) and the Financial Industry Regulatory Authority (FINRA) today announced the opening of registration for their 2019 National Compliance Outreach Program for Broker-Dealers, which will be held June 27, 2019, in Chicago.
The program is designed to provide an open forum for regulators and industry professionals including compliance, internal audit, and other…